Joel E. Sproul

KRONOS WEALTH MANAGEMENT

Delmar, NY

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CRD#: 4078957

Professional summary

Joel Elliot Sproul is a registered financial advisor currently at KRONOS WEALTH MANAGEMENT located in Delmar, New York.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joel has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Elliot Sproul's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 27, 2016 - Present

KRONOS WEALTH MANAGEMENT

RIA

CRD#: 281729

Delmar, NY

Past

February 6, 2009 - July 29, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PORTSMOUTH, NH

Past

March 28, 2005 - October 27, 2008

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

MARSHFIELD, WI

Past

September 29, 2004 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

SACO, ME

Past

September 29, 2004 - July 29, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SACO, ME

Past

December 4, 2002 - October 7, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PORTLAND, ME

Past

December 23, 1999 - October 7, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 23, 1999 - October 7, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KRONOS WEALTH MANAGEMENT

KRONOS WEALTH MANAGEMENT | KRONOS WEALTH MANAGEMENT, LLC

CRD#: 281729 / SEC#: 801-120809

RIA

Registered Investment Advisory firm - (4/20/2021 Approved)

Maine

Registered Investment Advisory firm - (5/27/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/28/2021 Terminated)

New York

Registered Investment Advisory firm - (5/26/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/26/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(6/29/2016)

IAR

New York
(6/2/2021)

IAR

Texas
(5/27/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/27/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/2007

General Securities Principal Examination

Current Firm

KRONOS WEALTH MANAGEMENT

KRONOS WEALTH MANAGEMENT | KRONOS WEALTH MANAGEMENT, LLC

CRD#: 281729 / SEC#: 801-120809

RIA

Registered Investment Advisory firm - (4/20/2021 Approved)

Maine

Registered Investment Advisory firm - (5/27/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/28/2021 Terminated)

New York

Registered Investment Advisory firm - (5/26/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/26/2021 Terminated)

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Contact information

Main Address

Delmar, NY

Mailing Address

Phone number

(603) 617-2323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 A AND B (3/3/2025)

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 27,027,533

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joel E. Sproul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Elliot Sproul's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KRONOS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2002

Series 63

Date: 1/3/2000

SIE

Date: 7/29/2016

Series 7

Date: 12/22/1999

Series 24

Date: 4/19/2007

Current Firm

KRONOS WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KRONOS WEALTH MANAGEMENT

TRUST BUT VERIFY

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